9 часов назад
Compliance Consultant - 1 year Fixed Contract/Secondment
Вакансия из Hirify Global, списка международных tech-компанийДля мэтча и отклика нужен Plus
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Compliance Consultant - 1 year Fixed Contract/Secondment (Investment Management): Managing core compliance operations for personal account dealing, gifts and hospitality, and personal conflicts within an asset management firm with an accent on case management, restricted dealing controls, and StarCompliance administration. Focus on investigating breaches, reconciling broker feeds, maintaining workflow processes, and producing regulatory management information for stakeholders across the UK, USA, Luxembourg, and Asia.
Location: Stirling, United Kingdom
Company
M&G is an established investment management and insurance company providing savings, investment, and asset management solutions.
What you will do
- Oversee daily case management generated by the StarCompliance system, investigate cases, close them in line with procedures, and record and manage compliance breaches.
- Maintain restricted dealing lists, broker and transaction feeds, perform daily reconciliations, and resolve discrepancies with brokers.
- Support new broker feed implementations by coordinating with Procurement, Legal, external providers, and StarCompliance.
- Administer StarCompliance workflows, lists, documents, certifications, and approval processes.
- Respond to business queries, maintain procedures, and support management information reporting using Microsoft Teams, PowerPoint, Excel, and Power BI.
- Build collaborative relationships with stakeholders, local Compliance teams, committees, boards, and StarCompliance.
Requirements
- Experience in a similar Compliance or Investment Operations role within an asset management firm.
- Experience building workflow tools and managing routine operational processes.
- Knowledge of investment products, asset classes, and investment processes.
- Good knowledge of FCA personal account dealing under COBS 11, MiFID inducement rules, and SEC Code of Ethics requirements.
- Strong analytical, organisational, communication, interpersonal, and attention-to-detail skills.
- Relevant compliance or investment management qualifications are advantageous, as is a university degree or equivalent.
Nice to have
- Experience with an automated Personal Account Dealing system such as FIS Employee Compliance Manager, Comply, MyComplianceOffice, or StarCompliance.
- Relevant qualification from the International Compliance Association or Chartered Institute for Securities & Investment.
- Investment Management Certificate or Investment Operations Certificate.
Culture & Benefits
- Full-time employment with a one-year fixed contract or secondment.
- Flexible working arrangements and workplace adjustments are available.
- Pension scheme with contributions of up to 18%.
- 38 days of annual leave including bank holidays, with the option to purchase up to five additional days.
- Private healthcare, critical illness cover, life assurance, paid parental leave, and financial wellbeing support.
- Inclusive culture with employee-led networks and support for diverse communities.
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